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FIRST TRUST ADVISORS LP

WHEATON, IL · CRD 107027 · IAPD ↗ · ftsma.com · 630-765-8000

$309.24BRegulatory AUM
143Advisory reps
542Employees
0Clients
n/aPlanning clients
1Private funds
51States
4Disclosures
wealthSegment
ApprovedSEC status

Filing changes

85
April 2026 — FIRST TRUST ADVISORS LP grew from 125 to 143 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
January 2026 — FIRST TRUST ADVISORS LP's Item 11 disclosure-reporting entries rose by 1 (3 -> 4).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — FIRST TRUST ADVISORS LP added office(s): 2 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
75
April 2025 — FIRST TRUST ADVISORS LP now reports 1 private fund(s) ($65.0M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
April 2025 — FIRST TRUST ADVISORS LP grew from 95 to 125 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
October 2024 — FIRST TRUST ADVISORS LP's Item 11 disclosure-reporting entries rose by 2 (1 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
79
April 2024 — FIRST TRUST ADVISORS LP grew from 86 to 95 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.